UNIVERSITY of MINNESOTA
`
`INVENTION DISCLOSURE FORM (con:fidential)
`
`Time-Sensitive Material, Please Expedite
`
`This Is a confidential, proprietary, nonpublic document that may not be
`communicated in any way without the consent or the University of Minnesota Office
`ot Patents and Llcensln1
`
`Send the completed, signed form and all attachments to:
`
`Office of Patents & Licensing
`Minnesota Technology Center
`1100 Washington Avenue South, Suite 201
`Minneapolis, MN 55415-1226
`Phone: 612/624-0550 Fax: 612/624-4843
`
`Disclosure Evaluation, and Patenting and Licensing Procedure
`
`Within ten working days of receipt of the completed disclosure fonn by the Office of Patents and
`Licensing, a technology transfer associate will contact the inventors. The associate will then initiate
`evaluation of the invention's patentability and marketability, and may contact industrial representatives for
`nondisclosing discussions of the field of the invention. The associate may also present the disclosure under
`confidentiality agreements to potential licensees and to members of the Technology Evaluation Council, a
`group of Minnesota business and industry leaders who assist the Office of Patents and Licensing by
`providing nonbinding advice on technology transfer matters. The inventors will be kept informed of the
`evaluation process and may beasked to provide reasonable assistance (e.g .. to participate in patent and
`literature searches and 10 assist in discussions with industry contacts).
`
`Following a thorough review of the invention's patentability and commercial potential, the associa1e will
`contact 1he inventors with the University's decision on whether to apply for patent protection of the
`invention. This decision nonnally will be made within two to three months of submission of the completed
`disclosure. unless additional infonnation or research is needed before a reasonable decision can be made. If
`the University decides to file a patent application. the inventors will be asked to assist the associate and
`outside potent counsel in preparing the application(s). It can take anywhere from one to three or more years
`for a patent application to be approved and issued or denied by the U.S. Patent and Trademark Office
`(USPTO). The inventors will be kept infom,ed of the patenting process and may be asked to help 1he
`University's patent counsel respond to any
`questions or objections the examiner may make against claims made for the invention. Patent prosecution
`will be directed by the Office of Patents and Licensing. Communication among the USPTO, outside patent
`counsel, and the inventors will be coordinated by the associate handling the invention.
`
`The associate may begin contacting potential licensees as soon as possible to discuss the interest of their
`companies in acquiring a license to the invention, sometimes before a patent application is filed. Tenns of
`license agreements transferring rights to use and commercialize the invention also will be negotiated by the
`Office of Patents and Licensing, with the inventors closely involved. Often an interested company will
`want to support further research on the technology to bring the invention closer to commercializability. A
`contract for this research will be negotiated and administered by the Office of Research and Technology
`Transfer, assisted by the inventors and the technology transfer associate.
`
`A packet of materials describing the University of Minnesota Office of Patenls and Licensing and its
`procedures, the patent process, related policies, and the rights and obligations of University inventors may
`be obtained from technology transfer associates or by calling 612/624-0550.
`
`A copy of this form will be sent by the Office of Patents and Licensing to the
`department chair(s) and the dean(s) of the college(s) in which the inventor(s)
`developed the technology.
`
`UMN EXHIBIT 2035
`LSI Corp. et al. v. Regents of Univ. of Minn.
`IPR2017-01068
`
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`Page 1 of 7
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`UNIVERSITY of MINNESOTA
`
`INVENTION DISCLOSURE FORM (confidential)
`
`Please 1ype. If more space is required, please auach additional pages with reference to the continued item.
`This fonn is available as an electronic file which can be downloaded from the Office of Research and
`Technology Transfer's Gopher server.
`
`If you have questions about the Invention Disclosure fonn, please contact the Office of Patents and
`Licensing, 624-0SS0.
`
`1. TITLE AND DESCRIPTION
`
`Provide a title and brief description of 1he invention, stating in nontechnical language 1he key features of
`your invention, its most important uses, and how it improves on existing technolol}' or practice. Please
`attach supporting documents that provide a more complete description of the invention (manuscripts,
`diagrams, data, etc.) and that describe its advantages and differences over existing technoloi)'.
`
`Title: Maximum transition-run (MTR) <;odes for data storage systems
`
`Description:
`This invention describes a coding scheme which improves data quality and/or storage
`capacity of existing digital data storage devices such as magnetic computer disk drives
`and professional and consumer tape recorders. This coding scheme eliminates certain
`error-prone binary data patterns from the allowable set of input data patterns that are to be
`recorded in the storage medium. As a consequence, the final bit error rate, the most
`important perfonnance measure of any digital recorder, is improved significantly when
`the original data bits are reproduced. This improvement in the bit error rate can also be
`traded for an increase in storage density if the error rate perfonnance of the recorder is
`already satisfactory. More specifically, the proposed code, which we will call the
`maximum transition-run (MTR) code, imposes a limit on the maximum number of
`consecutive transitions that can occur in tbe written magnetization pattern in magnetic
`recording. Our analysis indicates that the performance improvement is most significant
`when the maximum number of consecutive transitions is limited to two. The MTR code
`with a constraint length of 2 will allow "dibit" transitions in the magnetization pattern,
`but will not permit "tribit" or longer runs of consecutive transitions. When we combine
`this coding scheme with a certain class of sequence detectors to recover written data in
`high density recording, we can achieve a significantly better bit-error-rate (BER)
`performance than existing code/detector combinations such as (0,G/l)code/PRML and
`(1,7) RLL code/peak detector combinations. Computer simulations have been used to
`demonstrate the performance advantage of the MTR code combined with a specfic
`detector known as the fixed delay lree search with decision feedback over the existing
`code/detector combinations. According to the NRZI format, in which a magnetic
`transition is represented by binary "l" and no transition by binary "O". the proposed code
`constraint is equivalent to limiting the maximum run length of l's. To facilitate timing
`recovery, the usual maximum runlength constraint is also imposed on O's. Runlength
`limited (RLL) codes have existed in the data storage field for some time, but they have
`been used either to control the maximum and minimum separations between adjacent
`magnetic transitions or to limit the minimum size of the written marks (in the case of
`optical recording). Also, none of the existing RLL codes attempts to eliminate error-prone
`binary patterns in an effort to increase the "minimum distance". Therefore, this invention
`is fundamentally different from the existing RLL codes.
`
`Key words to use in patent and literalure searches:
`
`run-length-limited code, (d,k) code, fixed-delay tree search
`
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`UNIVERSITY of MINNESOTA
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`2. DEVELOPERS
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`INVENTION DISCLOSURE FORM (conndential)
`
`List all who have actively participated in developing the invention (including students, post-docs, ~cientists
`and non-University of Minnesota personnel). A final detemtination of status as an inventor will be made if
`and when a patent application is drafted. Please inform Patents and Licensin1 of any chang~s in the
`information below.
`
`Social Security No:
`
`Social Security No:
`
`A.
`Name: Jaekyun Moon
`Position: Associate Professor
`Work Address: Department of Electrical Engineering. 200 Union St., S.E., Minneapolis,
`MN 55455
`Home Address: 250 Caison Pkwy, #209, Minnetonka, MN 5530S
`Fax: 612-625-4S83
`Work Phone: 612-62S-7322
`Home Phone:612-473-1859
`Departmental Affiliation(s): Electrical Engineering
`Research Center Affiliation(s):
`B.
`Name: Barrett Brickner
`Position:Reseasrch Assistant
`Work Address: Department of Electrical Engineering, 200 Union St., S.E., Minneapolis,
`MN S5455
`Home Address: 415 Erie St., S.E., APT 101, Minneapolis, MN 55414
`Work Phone: 625-3474
`Fax: 612-625-4583
`Home Phone: 612-623-3036
`Departmental Affiliation(s): Electrical Engineering
`Research Center Affiliation(s):
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`
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`
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`C.
`Name:
`Position:
`Work Address:
`Home Address:
`Fax:
`Work Phone:
`Departmental Affiliation(s):
`Research Center Affiliation(s):
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`Social Security No:
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`Home Phone:
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`Social Security No:
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`D.
`Name:
`Position:
`Work Address:
`Home Address:
`Fax:
`Work Phone:
`Departmental Affiliation(s):
`Research Center Affiliation(s):
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`Home Phone:
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`UNIVERSITY of MINNESOTA
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`3. FUNDING
`
`INVENTION DISCLOSURE FORM (confidential)
`
`List all sources of funding (external and/or internal) that were used to fund the research resultin& in the
`invention. It is important that this infonnation is accurate and complete because sponsors may have certain
`riihts in the invention.
`
`Source
`
`Agency Grant Number
`
`University Account Number
`
`Seagate Technology
`National Storage Industry Consortium/ARPA
`
`39000629
`50000115
`
`1743•522-6230
`1732-522-6173
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`4. PUBLICATIONS
`
`List the titles and dates of possible publication(s) of the invention (past or future} and attach copies of
`published or submitted versions. Publication includes any papers, theses. conference presentations, or
`abstracts anywhere in lhe world that describe all or part of the invent.ion. The date of publication is the date
`the material was or will be made available to others {excluding editors, conference sponsors, or others
`involved in preparing the article or presentation). For example, publication occurs when a journal is first
`mailed, when a thesis is catalogued, or when conference participants may obtain an abstract If not certain
`when a future publication may occur, please estimate the earliest date possible and mark as ESTIMATE.
`
`Please iofonn the Office of Patents and Licensing of any changes in publica1ion dates. To retain the
`potential for foreign protection. U.S. pa1cnt applications must be filed BEFORE any description of the
`inven1ion is published.
`
`Publications: J. Moon and B. Brickner, "Maximum transition-run codes in magnetic
`recording,"
`International magnetics Conference, Seattle, Washington.
`Date: 12-4-95 (manuscript not available yet)
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`UNIVERSITY of MINNESOTA
`
`INVENTION DISCLOSURE FORM (confidential)
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`S. PUBLIC OR COMMERCIAL USE/SALE
`
`Describe all previous or planned public or commercial use/sale and give the date of such use.
`
`Description:
`
`None
`
`Date:
`
`6. PRIOR ART
`
`Attach copies of any literature and patent searches done by the inventors and any articles, patents and
`product descriptions concerning technologies closely related to the invention. A survey article on the field
`of the invention is panicularly useful.
`
`Attached articles:
`
`1) Kees A. S. Immink, "Coding techniques for the noisy magnetic recording channel: a
`state-of-the-an report," IEEE Transactions on Communications, vol. 37, no. 5, May 1989.
`
`2) Paul H. Siegel and Jack K. Wolf, "Modulation and coding for information storage,"
`IEEE communications magazine, vol. 29, no. 12, December 1991.
`
`7. COMMERCIAL MARKET
`
`Describe lhe current and/or potential commercial market for the invention. Also, on lhe next page, provide
`the names and telephone numbers for any contacts in industry you know of with whom a representative of
`the Office of Patems and Licensing could discuss the commercial possibilities for the invention. There will
`be no disclosure or proprietary information during these conversations without protection for the
`confidentiality of the disclosure.
`
`Commercial Market:
`
`This invention can potentially improve 1he storage capacity of current and future
`magnetic recording devices substantially (by 15% - 40%) without increasing the cost.
`This invention can find applications in computer disk drive industry (currently enjoying a
`$ 27 billion market, world wide), computer linear tape drive industry (a $ 3.8 billion
`industry), and professional and consumer video recording industry (with a world wide
`revenue exceeding $20 billion). Digital storage is an essential component of the
`"infonnation super-highway" and has been playing an increasingly important role in both
`professional and consumer markets utilizing any type of digital technology. Because of
`its direct applicability to digital storage systems, this invention no doubt has an enormous
`commercial potential.
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`UNIVERSITY of MINNESOTA
`
`INVENTION DISCLOSURE FORM (confidential)
`
`Industry Contacts:
`
`Robert Kost, Seagate Technology, TEL: 612-844-577 l
`Norman Talsoe, NBT Consulting, TEL: 612-933-5139
`Michael Riggle, Data Security Corp., TEL: 719-495-4450
`Roger Wood, IBM, TEL: 408-256-4131
`Jim Belleson, IBM, TEL: 408-256-5999
`Michael Mclas, IBM, TEL: 408-927-2055
`Robert Rutledge, IBM, TEL: 408-256-0804
`
`8. POTENTIAL CONFLICTS OF INTEREST
`
`Do any of the inventors have financial interests (equity, stock) or business relationships (research funding,
`consulting, director, or management position) in any companies that might be potential licensees for this
`invention? [f so, list the companies and the amount and type of the interest, and/or the nature of the
`business relationship. See the University of Minnesota Policy on Disclosure of Conflicts of Interest for
`more information.
`
`The research that led to this invention had been funded by Seagate Technology and the
`National Storage Industry Consortium.
`
`(~ ~~ ~i' ~ ... ~~
`-~ NSlL,
`
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`
`6
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`UNIVERSITY of MINNESOTA
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`9. SIGNATURES
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`INVENTION DISCLOSURE FORM (confldentfal)
`
`A. By signing below, the inventors acknowledge that the University of Minnesota's patent policy governs
`their riahts and obligations respecting this invention, and they agree that the infonnation provided in this
`fonn is accurate and complete 10 the best of their knowledge.
`
`NOTE: It is important that correct funding and publishing information is reported in this fonn. If any
`changes occur, pleaseinfonn the Office of Patents and Licensing
`
`Signature·
`
`Signature:
`
`Signature:
`
`Signature:
`
`Signature:
`
`Signature:
`
`Date: f'-i · fS-
`Date: 9-8-95
`Date:
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`Date:
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`Date:
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`Date:
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`Page 7 of 7
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